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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-05 |
Branch Locations
50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States
1202 E Arques Ave, Sunnyvale, CA 94085 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade | San Jose | CA | 07/2016 | 02/2018 |
| Td Ameritrade, Inc. | San Jose | CA | 02/2018 | 10/2018 |
| Td Ameritrade Investment Management, Llc | Omaha | NE | 02/2018 | 10/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Clara | CA | 12/2018 | 05/2021 |
| Bank Of America, N.A. | Santa Clara | CA | 12/2018 | 05/2021 |
| Wells Fargo Clearing Services, Llc | Santa Clara | CA | 08/2021 | 06/2025 |
| Wells Fargo Bank, Na | Santa Clara | CA | 08/2021 | 06/2025 |
| Citigroup | Santa Clara | CA | 07/2025 | 11/2025 |
| Wells Fargo Clearing Services, Llc | Sunnyvale | CA | 12/2025 | Present |
| Wells Fargo Bank, Na | Sunnyvale | CA | 11/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-28 |
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